Esther M Stearns
CIK 1405119 · View on SEC EDGAR ↗
Insider
First SEC filing: June 29, 2007 · Latest: June 29, 2007
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 11 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
11 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Jan. 19, 2012 | LPLA | S | 9,700 | $34.01 | $329,897 | 273,016 Direct | -3.43% | Disposed | 954.5% (price as of 2026-08-21) |
| Jan. 18, 2012 | LPLA | S | 4,700 | $34.00 | $159,800 | 282,716 Direct | -1.64% | Disposed | 954.8% (price as of 2026-08-21) |
| Jan. 12, 2012 | LPLA | S | 14,900 | $33.01 | $491,849 | 287,416 Direct | -4.93% | Disposed | 986.4% (price as of 2026-08-21) |
| Jan. 11, 2012 | LPLA | S | 100 | $33.00 | $3,300 | 302,316 Direct | -0.03% | Disposed | 986.7% (price as of 2026-08-21) |
| Jan. 10, 2012 | LPLA | S | 15,000 | $32.02 | $480,300 | 302,416 Direct | -4.73% | Disposed | 1020.0% (price as of 2026-08-21) |
| Jan. 9, 2012 | LPLA | S | 37,900 | $31.01 | $1,175,279 | 317,416 Direct | -10.67% | Disposed | 1056.5% (price as of 2026-08-21) |
| Jan. 6, 2012 | LPLA | S | 46,500 | $30.90 | $1,436,850 | 355,316 Direct | -11.57% | Disposed | 1060.6% (price as of 2026-08-21) |
| Jan. 5, 2012 | LPLA | S | 32,100 | $30.61 | $982,581 | 401,816 Direct | -7.40% | Disposed | 1071.6% (price as of 2026-08-21) |
| Jan. 4, 2012 | LPLA | S | 24,600 | $30.24 | $743,904 | 433,916 Direct | -5.37% | Disposed | 1085.9% (price as of 2026-08-21) |
| Jan. 3, 2012 | LPLA | S | 28,900 | $30.68 | $886,652 | 458,516 Direct | -5.93% | Disposed | 1068.9% (price as of 2026-08-21) |
| May 2, 2011 | LPLA | S | 214,400 | $34.85 | $7,471,840 | 487,416 Direct | -30.55% | Disposed | 929.0% (price as of 2026-08-21) |
| Dec. 22, 2010 | LPLA | P | 95,000 | — | — | 95,000 Direct | — | Acquired | (price as of 2026-08-21) |
| Nov. 17, 2010 | LPLA | S | 1,302,444 | $30.00 | $39,073,320 | 701,816 Direct | -64.98% | Disposed | 1095.4% (price as of 2026-08-21) |
| Sept. 14, 2009 | LPLA | P | 80,000 | — | — | 80,000 Direct | — | Acquired | (price as of 2026-08-21) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| Feb. 22, 2012 | LPLA | Restricted Stock U nits | Common Stock (627,918) | $0.00 | — | 627,918 | Disposed |
| Feb. 9, 2012 | LPLA | Option to Purchase Common Stock | Common Stock (104,040) | $32.26 | Feb. 9, 2022 | 104,040 | Acquired |
| Dec. 22, 2010 | LPLA | Option to Purchase Common Stock | Common (95,000) | $34.61 | Dec. 22, 2020 | 95,000 | Acquired |
| Nov. 17, 2010 | LPLA | Stock Option (Right to Buy) | Common Stock | — | May 2, 2013 | 2,003,760 | Disposed |
| Sept. 14, 2009 | LPLA | Option to purchase common stock | Common (80,000) | $22.08 | Sept. 14, 2019 | 80,000 | Acquired |
| Dec. 31, 2008 | LPLA | Restricted Stock Units [F1] | Common Stock (627,918) | — | — | 627,918 | Acquired |
| Dec. 31, 2008 | LPLA | Stock Options [F1] | Common Stock (667,510) | $1.07 | Dec. 14, 2009 | 667,510 | Disposed |
| Dec. 8, 2008 | LPLA | Employee Stock Option (right to buy) | Common Stock (500) | $1.07 | Dec. 14, 2009 | 500 | Disposed |
| Feb. 5, 2008 | LPLA | Option award (right to buy) | Common Stock (80,000) | $27.80 | Feb. 5, 2018 | 80,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 4 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| June 29, 2007 | LPLA | Option awards→ Common Stock (33,400) | 33,400 | Direct |
| June 29, 2007 | LPLA | Option awards→ Common Stock (33,401) | 33,401 | Direct |
| June 29, 2007 | LPLA | Option awards→ Common Stock (133,584) | 133,584 | Direct |
| June 29, 2007 | LPLA | Option awards→ Common Stock (66,792) | 66,792 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2012 | $620,560 | — | — | — | $360,000 | — | $19,105 | $2,562,165 |
| 2010 | $625,000 | $1,100,000 | — | $1,696,007 | — | — | $12,740 | $3,433,747 |
| 2009 | $625,000 | $650,000 | — | $942,960 | — | — | $9,865 | $2,227,825 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.